This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Current firm

MORGAN STANLEY

Current firm class

wirehousederived

Book size

not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none

Industry start

Jun 1, 2015earliest registration or exam on IAPD

Years in industry

11derivedfrom the industry start date

Years at current firm

1derivedfrom the current registration's begin date

Prior firms

2

Current registrations

1

Registered states

2

Exams

S63|S65

First exam

Oct 5, 2018

First registration

Oct 5, 2018

Dual registered

yes, broker-dealer

Other names

Katie Caldwell|Kathryn Ann Caldwell|Kathryn Caldwell

IAPD individual key

6887637

• Occurred

  Apr 2, 2024
  Advisor changed firm

  Kathryn A Caldwell left Lpl Financial Llc for Morgan Stanley (registered 2025-01-29)

  Form ADVobserved 4 days ago
• Occurred

  Mar 31, 2023
  Advisor changed firm

  Kathryn A Caldwell left Ii Technology, Llc for Lpl Financial Llc (registered 2023-05-04)

  Form ADVobserved 4 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:3c604689-3f61-01a1-7fd2-503b8bcc1fff

First observed

Oct 5, 2018

Last observed

Sep 14, 2026 5 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.